System and process for registering and later confirming a written or printed document is genuine and unaltered, while mitigating the risk of its loss

ABSTRACT

A method for authenticating a document including: radio frequency scanning at least a portion of the document; optically scanning the document; generating a document data dependently upon the radio frequency scanning and optical scanning; comparing the generated data to stored data, the stored data being previously generated dependently upon a prior radio frequency scanning of the portion of the document and prior optical scanning of the document; and providing an output indicative of the document being authentic if the generated data is sufficiently identical to the stored data as determined by the comparing.

FIELD OF THE INVENTION

This invention relates to the field of document management.

BACKGROUND OF THE INVENTION

Certain written or printed documents (hereinafter referred to as “documents”) are important and/or valuable. It may be desirable in certain circumstances to independently confirm that such a document is genuine, and not fraudulent. It may also be desirable in certain circumstances to confirm that such a document has not be altered in an unauthorized manner.

Embodiments of the invention provide for document authentication that confirms that a document is genuine. Embodiments of the invention provide for document authentication that confirms that a written or printed document is genuine, and has not be altered in an unauthorized manner. Embodiments of the invention provide for document authentication that not only confirms that a written or printed document is genuine, and has not be altered in an unauthorized manner, but also mitigates the risk of losing the document, such as by fire or theft.

SUMMARY OF THE PREFERRED EMBODIMENTS

A method for authenticating a document including: radio frequency scanning at least a portion of the document; optically scanning the document; generating a document data dependently upon the radio frequency scanning and optical scanning; comparing the generated data to stored data, the stored data being previously generated dependently upon a prior radio frequency scanning of the portion of the document and prior optical scanning of the document; and providing an output indicative of the document being authentic if the generated data is sufficiently identical to the stored data as determined by the comparing.

BRIEF DESCRIPTION OF THE DRAWINGS

Understanding of the present invention will be facilitated by consideration of the following detailed description of the preferred embodiments of the present invention taken in conjunction with the accompanying drawings, in which like numerals refer to like parts:

FIG. 1 illustrates a plan view of a substrate according to an embodiment of the present invention;

FIG. 2 illustrates a block-diagram view of a system according to an embodiment of the present invention;

FIG. 3 illustrates a plan view of a substrate and scan track according to an embodiment of the present invention;

FIG. 4 illustrates a plan view of a substrate and multiple scan tracks according to an embodiment of the present invention;

FIG. 5 illustrates a diagram of an RF signature of resonators positioned within a scan track in accordance with an embodiment of the present invention;

FIG. 6 illustrates a block diagram view of a system according to an embodiment of the present invention;

FIG. 7 illustrates a block diagram of a process for enrolling a document to be authenticated according to an embodiment of the present invention;

FIG. 8 illustrates a block diagram of a process for authenticating an enrolled document according to an embodiment of the present invention;

FIG. 9 illustrates a plan view of an enrolled document according to an embodiment of the present invention.

DETAILED DESCRIPTION OF THE PREFERRED EMBODIMENTS

It is to be understood that the figures and descriptions of embodiments of the present invention have been simplified to illustrate elements that are relevant for a clear understanding of the present invention, while eliminating, for the purpose of clarity, many other elements found in typical document processing systems and methods. Those of ordinary skill in the art may recognize that other elements and/or steps are desirable and/or required in implementing the present invention. However, because such elements and steps are well known in the art, and because they do not facilitate a better understanding of the present invention, a discussion of such elements and steps is not provided herein.

Referring now to FIG. 1, there is shown a plan view of a substrate 1 according to an embodiment of the present invention. Substrate 1 may be suitable for being written or printed on using conventional marking technology, such as ink or toner. Substrate 1 may be akin to a conventional sheet of paper. In the illustrated embodiment, substrate 1 incorporates a plurality of passive resonators 5 a, 5 b, . . . 5 n. In the illustrated embodiment, resonators 5 a-n are randomly disposed. In the illustrated embodiment, resonators 1 a-n are depicted as line segments each indicative of a thin dipole antenna or dipole, such as an elongated metal or metalized article. Such a dipole is resonant at an interrogating frequency at which the dipole is ½ wavelength in length. A wide variety of lengths may be used depending on the resonant frequency desired and the nature of the reader. In a particularly preferred embodiment, resonant articles 1 a-n are formed of thin dipoles having a thickness from about 100 angstroms to 2 millimeters, and a length of about 0.5 millimeters. The density of diploes 5 a-n may be on the order of about 2 to 5 dipoles per square cm of surface area. Metalized glass fibers may also be used as the thin dipoles; such fibers may be on the order of 0.001 inches in diameter. Substrate 1 can be manufactured in any suitable manner, including that discussed in U.S. Pat. No. 6,471,878 issued to the inventor hereof, and entitled METHOD FOR FORMING A RADIO FREQUENCY RESPONSIVE TARGET AND APPARATUS FOR VERIFYING THE AUTHENTICITY OF THE SAME, the entire disclosure of which patent is hereby incorporated by reference as if being set forth in its entirety herein.

Referring now also to FIG. 2, there is shown a block-diagram view of a system 10 according to an embodiment of the present invention. In the illustrated embodiment, resonators 5 a-n are responsive to radio frequency (RF) transmitter 20, which impinges them with an interrogating RF signal 26. An RF receiver 30 detects the resonators' 5 a-n response 36 to interrogating signal 26. In the illustrated embodiment, transmitter 20 includes a signal generator 22 coupled to an antenna 24 for generating radio frequency interrogating signals 26 in a desired target field. Receiver 30 receives radio frequency response signals 36 at antenna 34 coupled to signal processor 32. Signal processor 32 produces an output 38 indicative of the resonators 5 a-n, and hence the substrate 1, within the target field in response to signals 36 received by antenna 34. In the illustrated embodiment, output 38 is supplied to an information processing system 39. In certain embodiments of the present invention, transmitter 20 and receiver 30 may be physically associated in a single transceiver unit, and the functions of antennas 24 and 34 may be performed by a single antenna. System 10 may be designed to detect radio frequency responses in the near field of the antenna(e), in the far field of the antenna(e), or both.

In the illustrated embodiment, information processing system 39 includes a computing device, e.g., a computer. “Computer”, as referred to herein, refers to a general purpose computing device that includes a processor. “Processor”, as used herein, refers generally to a device including a Central Processing Unit (CPU), such as a microprocessor. A CPU generally includes an arithmetic logic unit (ALU), which performs arithmetic and logical operations, and a control unit, which extracts instructions (e.g., code) from memory and decodes and executes them, calling on the ALU when necessary. “Memory”, as used herein, refers to one or more devices capable of storing data, such as in the form of chips, tapes, disks or drives. Memory may take the form of one or more random-access memory (RAM), read-only memory (ROM), programmable read-only memory (PROM), erasable programmable read-only memory (EPROM), or electrically erasable programmable read-only memory (EEPROM) chips, by way of further non-limiting example only. Memory may be internal or external to an integrated unit including a processor. Memory may be internal or external to the computer. Such memory may typically store a computer program, e.g., code or sequence of instructions being operable by the processor.

It should be appreciated that when a substrate not incorporating responders 5 a-n is interrogated with system 10, output 38 will not be indicative of any particular substrate. However, when a substrate 1 incorporating responders 5 a-n is interrogated with system 10, output 38 will be indicative of the existence and positioning of responders 5 a-n, and hence substrate 1.

More particularly, transmitter 20 and receiver 30 may be positioned to interrogate a predetermined portion of substrate 1. Referring now also to FIG. 3, there is shown a plan view of substrate 1 according to an embodiment of the present invention. Also shown in FIG. 3 is a scan track 100. According to an embodiment of the present invention, transmitter 20 and receiver 30 may be positioned to interrogate scan track 100 of substrate 1 in a temporal fashion, e.g., transmitter 20 and receiver 30 may temporally scan along, e.g., be laterally displaced along, track 100. For example, substrate 1 may be laterally displaced over time relative to transmitter 20 and receiver 30, or transmitter 20 and receiver 30 may be laterally displaced over time relative to substrate 1.

Referring now also to FIG. 4, there is shown a plan view of another substrate 1 according to an embodiment of the present invention. Also shown in FIG. 4 are scan tracks 100 a-100 n (two in the illustrated embodiment). According to an embodiment of the present invention, transmitter 20 and receiver 30 may be positioned to interrogate scan tracks 100 a-100 n of substrate 1 in a temporal fashion, either in serial or parallel. Certain embodiments of the present invention may use multiple scan tracks for more certain performance. Again, substrate 1 may be laterally displaced over time relative to transmitter 20 and receiver 30, or transmitter 20 and receiver 30 may be laterally displaced over time relative to substrate 1.

Referring still to FIGS. 3 and 4, substrates 1 identified therein also include a printed reference identifier 110. In certain embodiments of the present invention, such an identifier may be uniquely associated with the particular substrate it is printed upon. In certain embodiments of the invention, such an identifier may be associated with a finite group of substrates, such as those in a particular package or provided to a particular user, for example.

Referring now also to FIG. 5, there is shown a diagram illustrating an RF signature 200 that may be sensed by receiver 30 by illuminating resonators positioned within scan track 100 or 100 a-n with an interrogating RF signal using the transmitter 20, in accordance with an embodiment of the present invention. The horizontal axis of FIG. 5 corresponds to the position along a scan track 100, 100 a-n being read, and the vertical axis is the received signal amplitude. Waveform 200 illustrates a received signal amplitude, while waveform 210 illustrates a clocking signal 210, which may be stored in a magnetic stripe or stored as optical markings upon a substrate for correlating the position of the substrate with the received RF signal. Alternatively, clocking signal 210 may be provided by or to receiver 30 independently of substrate 1, and correlated with the lateral transposition of transmitter 20 and receiver 30 relative to substrate 1. For example, clocking signal 210 may be correlated with movement of substrate 1 past transmitter 20 and receiver 30, such as by using a stepper motor to move substrate 1, or a sensor to detect the relative movement there-between. Conventional approaches utilized with digital document scanners may be used, for example.

When dipoles are randomly distributed along scan track 100, 100 a-n, the response created thereby results in an RF amplitude versus position waveform, as illustrated by waveform 200 of FIG. 5. The amplitude versus position characteristics of this waveform may be used to uniquely, or at least substantially uniquely, identify or serialize a scanned substrate 1.

For example, RF waveform 200 may be converted to a digital code word. RF waveform 200 may be digitized (or sampled) to form a digitized RF response signal, and the digitized RF response signal may be normalized to produce a normalized digitized RF response signal, which may then be converted to a code word. The digitized RF response signal may be converted to a code word using the methodology discussed in the above-incorporated U.S. Pat. No. 6,471,878, for example. Such a code word may be considered to be at least substantially uniquely associated with the particular substrate 1 scanned to generate/recover it.

According to an embodiment of the present invention, one or more tables or databases may be stored so as to be accessible by computer 39 (FIG. 2). For example, such a database may be stored in memory either local (e.g., internal or external) or remote to computer 39. Such a database may store codewords and information associated with the codewords. In certain embodiments of the invention, the codewords may be used as an address or an index to a lookup table which stores information associated with the corresponding codeword. In certain embodiments of the invention, the reference identifiers may be used as an address or an index to a lookup table which stores information associated with the corresponding reference identifier. In certain embodiments of the invention, a separate index value may be used as an address or an index to a lookup table which stores information associated with the corresponding index value.

Associated information may be stored in such a database so as to be correlated with the codeword, reference identifier and/or index value. For example, for each entry, associated data may include: document owner information (e.g., name, address, phone number, social security number, driver license number), document creation or registration date information, document revision date information, document descriptor information and/or other information relevant to the document.

When a document is initially scanned and a code word identified, a user may be prompted to enter the information to be associated with the code word in the table(s)/database(s), such as by using computer 39 (FIG. 2). Accordingly, such a database, or one or more tables, may be populated with codewords and the associated information, such as by using computer 39. Documents so scanned may be considered to be enrolled in the database for later authentication.

Referring now also to FIG. 6, there is shown a block diagram representation of a system 500 according to an embodiment of the present invention. Like references designate like elements in FIGS. 2 and 6, such that common elements will not be again discussed. System 500 additionally includes an optical energy transmitter 510 and optical energy receiver 520. In the illustrated embodiment, transmitter 510 impinges substrate 1 with optical energy, while receiver 520 receives optical signals indicative of markings on substrate 1. In certain embodiments of the present invention, transmitter 510 and receiver 520 may be incorporated in a conventional optical document scanner apparatus 530. Apparatus 530 may be akin to those used in digital document copiers and/or scanners, for example. Apparatus 530 may provide as output 538 data indicative of an optical scan of substrate 1.

For purposes of completeness, scanner 530 may generally take the form of a device that can detect markings, e.g., text or illustrations, printed on a substrate, e.g., paper, and translate the information into a form a computer, e.g., computer 39, can use. Such a scanner typically digitizes the markings, dividing the markings into a grid of boxes and representing each box with a data value, depending on whether the box is marked. The resulting matrix of bits may be used to form a bit map, which can be stored. Scanner 530 may not distinguish text from illustrations; as both types of markings may be represented as bit maps. Scanner 530 may utilize a charge-coupled device (CCD) array, which includes a plurality of light receptors that detect variations in light intensity and frequency. Other conventional approaches, such as a photomultiplier tube (PMT) based scanner can alternatively be utilized. Scanner 530 may utilize any suitable resolution, such as up to or greater than 600 dots per inch (DPI), for example. Scanner 530 may be monochrome or color capable. Scanner 530 may use any suitable bit depth. Scanner 530 may be hand-held, page fed or page based. Where clocking signal 210 (FIG. 5) is independent of substrate 1, movement of the page or scanner relative to the other may be correlated with the clocking signal.

In certain embodiments of the present invention, conventional optical character recognition (OCR ) technology may be used, e.g., by computer 39, to translate at least a portion of the bit map into ASCII characters. Such ASCII characters may be stored and associated with the scanned document for example. In certain embodiments of the present invention, reference ID 110 (FIGS. 3 and 4) may be converted into ASCII characters, for example. Alternatively, more or less of a scanned bit map may be converted to ASCII characters via conventional OCR techniques.

Referring now to Table-1, there is shown a table used to correlate data indicative of output signal 38 and 538, according to an embodiment of the present invention.

TABLE 1 Codeword Reference ID (Signal 38) (Signal 538) Doc. Info. 1 . . . DATA FILE 0010 . . . 0001 XXYY1122 owner 1 name . . . xxxyyy1122.dat

The illustrated Table-1 includes a single entry that may be generated by, or responsively to, computer 39. The entry indicates a codeword of “0010 . . . 0001” corresponds to a scanned document having a marked reference identifier “XXYY1122”. Information associated with the scanned document is also stored, consistently with the above-discussion. Table-1 also includes a data file identifier. The substrate used to generate the exemplary entry may be considered to be enrolled for later authentication.

In certain embodiments of the present invention, each identified data file includes data indicative of the markings on the corresponding document, e.g., the bitmap represented by output 538. In certain embodiments of the present invention, the data file may include data generated by manipulating either the codeword using the markings indicative data or the markings indicative data using the codeword. In certain embodiments of the present invention, the data file may be protected such as via conventional encryption techniques. In certain embodiments of the present invention, the markings indicative data (e.g., output 538 provided bit map data) may be encrypted using the codeword as an encryption key.

Referring now to FIG. 7, there is shown a block diagram of a process 700 for enrolling a document according to an embodiment of the present invention. In the illustrated embodiment, process 700 begins with providing a substrate at block 705, e.g., substrate 1 (FIG. 1). Block 705 may include providing one or more substrates, e.g., in the form of individual sheets or a pack of paper, for example. At block 710, the substrate is marked in a conventional manner. Marking at block 710 may include hand-marking and/or copying or ink-jet or laser printing onto a provided substrate using a conventional document copier or printer, for example. At block 720, the document is optically scanned, e.g., using scanner 530 (FIG. 6), to provide image data, e.g., a bit map indicative output 538 (FIG. 6). At block 730, at least a portion of the marked document, e.g., one or more scan tracks 100, 10 a-n, is RF scanned, e.g., using transmitter/receiver 20, 30 (FIG. 6), to provide an RF signature codeword, e.g., by computer 39 responsively to output 38. At block 740, the RF signature codeword (block 730) and provided image data (block 720) are used to generate a data file, e.g., by encrypting the image data using the codeword. At block 750, a record (e.g., akin to the record shown in Table-1) is generated by or using computer 39. The record associates information, including the generated data file (block 740) with the optically and RF scanned document.

Referring now to FIG. 8, there is shown a block diagram of a process 800 for authenticating an enrolled document according to an embodiment of the present invention. In the illustrated embodiment, process 800 begins with providing a registered document (e.g., FIG. 7), at block 805. At block 810, the RF signature is measured (analogously to block 730, FIG. 7). At block 820, the document is optically scanned (analogously to block 720, FIG. 7). At block 830, a verification data file is generated (analogously to file generation at block 740, FIG. 7). At block 840, the record and data file for the scanned document (generated at block 750, FIG. 7) are retrieved. At block 850 the file generated at block 830 is compared to the file generated at block 840. At block 860, if the files are determined to sufficiently match, the document provided at block 805 is authenticated. At block 860, if the files are determined to sufficiently differ, the document is not authenticated.

For non-limiting purposes of completeness, file retrieval at block 840 may be achieved using any conventional manner. For example, where the table/database containing the record is indexed by codeword, the codeword generated at block 810 may be used to recover the file. Where the table/database containing the record is indexed by reference identifier (e.g., 110, FIGS. 3, 4), bit map data generated at block 820 may be subjected to a conventional OCR technique to determine the reference ID and recover the corresponding file. Where the table/database is otherwise indexed, appropriate queries may be carried out (e.g., by or at the request of computer 39) to determine the file to be recovered. Alternatively, a user may be requested to enter one or more items of information (e.g., akin to the associated information and/or reference identifier) using computer 39, which information is then used to determine the file to be recovered.

In certain embodiments of the present invention, documents may be updated by re-enrolling or updating their enrollment. In such a case, the prior generated record may be appended or replaced, for example. In such embodiments, restrictive access/authorization techniques may be used to restrict enrollment updating. For example, when a document is enrolled, a password required to re-enroll or update the document enrollment may be associated with the record.

It should be appreciated that stored data files represent optical images of scanned documents. The table(s)/database(s) and associated data files may be stored in memory for later retrieval for any desired amount of time. Accordingly, a copy of a scanned document may be recovered at any point during this time, even if the original is lost or destroyed, by performing suitable queries of the stored table(s)/database(s), using computer 39 for example.

In certain embodiments of the present invention, substrate 1 may be pre-printed with information, e.g., so as to serve a fill-able form, prior to being provided to a user. Referring now to FIG. 9, there is shown a substrate 1 according to such an embodiment of the present invention. Like references designate like elements in FIGS. 1, 3, 4 and 9, such that common elements will not be again discussed. In the illustrated embodiment, substrate 1 has been pre-printed as the first page of a United States Copyright Office Form TX, which is an application to register a non-dramatic literary work. Of course, it should be understood that substrate 1 may be pre-printed with any type of information, and may take the form of any form, for example. Referring still to FIG. 9, as can be readily ascertained, Form TX has a plurality of spaces to be filled in by the user. According to an embodiment of the present invention, such a Form TX printed on a substrate 1 may be enrolled and then provided to and filled out by a user. Such a form may then be authenticated, such as in accordance with the processes discussed above. Thereafter, the authenticity of substrate 1, and hence Form TX may be updated and/or confirmed by a third party. Further, should the form be lost, a copy may be recovered as discussed above.

Those of ordinary skill in the art may recognize that many modifications and variations of the present invention may be implemented without departing from the spirit or scope of the invention. Thus, it is intended that the present invention covers the modifications and variations of this invention provided they come within the scope of the appended claims and their equivalents. 

1. A method for authenticating a document comprising: radio frequency scanning at least a portion of the document; optically scanning the document; generating document data dependently upon the radio frequency scanning and optical scanning; comparing the generated document data to stored data, the stored data being previously generated dependently upon a prior radio frequency scanning of the portion of the document and prior optical scanning of the document; and providing an output indicative of the document being authentic if the generated document data is sufficiently identical to the stored data as determined by the comparing.
 2. The method of claim 1, further comprising storing the stored data in a computer readable medium.
 3. The method of claim 1, wherein the at least portion of the document radio frequency scanned is a longitudinal portion of the document.
 4. The method of claim 3, wherein the longitudinal portion extends along substantially the entire document.
 5. The method of claim 3, wherein the at least portion of the document radio frequency scanned comprises a plurality of longitudinal portions of the document.
 6. The method of claim 5, wherein each longitudinal portion extends along substantially the entire document.
 7. The method of claim 5, wherein each longitudinal portion is mutually exclusive of each other longitudinal portion.
 8. The method of claim 1, wherein the radio frequency scanning comprises impinging a plurality of radio frequency responsive elements being substantially randomly disposed within the at least portion of the document with radio frequency energy, and detecting the response of the impinged radio frequency responsive elements.
 9. The method of claim 1, wherein the generating document data comprises encrypting.
 10. The method of claim 9, wherein the encrypting comprises encrypting data indicative of the optical scanning using data indicative of the radio frequency scanning.
 11. A system for authenticating a document comprising: a radio frequency document scanner; an optical document scanner; a memory storing document verification data associated with the document; a computing system operatively connected to the radio frequency scanner, the optical scanner and the memory; and computing system executable code accessible by the computing system and operative by the computing system to: receive data indicative of a radio frequency scan of at least a portion of the document from the radio frequency document scanner; receive data indicative of an optical scan of the document from the optical document scanner; generate document data dependently upon the received radio frequency and optical scan data; access the memory to recover the document verification data; compare the generated document data to the recovered document verification data, the document verification data being previously generated dependently upon a prior radio frequency scanning of the portion of the document and prior optical scanning of the document; and provide an output indicative of the document being authentic if the generated document data is sufficiently identical to the recovered document verification data as determined by the comparing.
 12. The system of claim 11, wherein the memory is remote from the computing system.
 13. The system of claim 11, further comprising: a second radio frequency document scanner; a second optical document scanner; and, a second computing system operatively connected to the radio frequency scanner, the optical scanner and the memory; wherein the second computing system is operative to execute the executable code to: receive data indicative of a radio frequency scan of at least a portion of the document from the second radio frequency document scanner; receive data indicative of an optical scan of the document from the second optical document scanner; generate second document data dependently upon the received second radio frequency and second optical scan data; access the memory to recover the document verification data; compare the generated second document data to the recovered document verification data; and provide a second output indicative of the document being authentic if the generated second document data is sufficiently identical to the recovered document verification data.
 14. The system of claim 13, wherein the radio frequency document scanner, optical document scanner and computing system are locally connected to one-another.
 15. The system of claim 14, wherein the second radio frequency document scanner, second optical document scanner and second computing system are locally connected to one-another.
 16. The system of claim 15, wherein the first computing system and second computing system are remotely positioned from the memory and each other, respectively.
 17. The system of claim 15, wherein the radio frequency scanning comprises impinging a plurality of radio frequency responsive elements being substantially randomly disposed within the at least portion of the document with radio frequency energy, and detecting the response of the impinged radio frequency responsive elements. 